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CRD 113600
ROCKY MOUNT, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| J•• P•••••••• L• | Hedge Fund | $9.5M | Nov 28, 2018 | 23 | Mar 26, 2012 | dropped | 021-147698 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| J•••••• F••••• G••••• | PRESIDENT, MANAGING MEMBER, CHIEF INVESTMENT OFFICER | D | yes | 07/1998 | Mar 26, 2012 | Mar 17, 2020 |
| C••••••• W••••••• H•••• | VICE PRESIDENT, MEMBER, SENIOR PORTFOLIO MANAGER | B | no | 01/2016 | Feb 1, 2016 | Mar 17, 2020 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2019 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $283M | $244M | 15.8% | $230M | 7.2% | 5 | 5 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L••• O•• P•••••• W•••••• L•• | 4 | Apr 30, 2020 | May 19, 2020 | ROCKY MOUNT, NC | Firm absorbed | RIA to RIA | 100.0% |
| S•••• T••••• W••• | VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | Na | no | 02/2006 | Mar 26, 2012 | Mar 17, 2020 |
| V••••• W••••••• A••• | Member | B | no | 07/1998 | Mar 26, 2012 | Mar 17, 2020 |
| $283M |
| $283M |
| 5 |
| 4 |
| 0 |
| n/a |
| n/a |
| 2018 | Mar 8, 2019 | $244M | $244M | 5 | 5 | 0 | n/a | n/a |
| 2017 | Mar 8, 2018 | $251M | $251M | 4 | 4 | 0 | 1 | $9.5M |
| 2016 | Feb 21, 2017 | $230M | $230M | 4 | 3 | n/a | 1 | $10.3M |
| 2015 | Feb 1, 2016 | $194M | $194M | 5 | 4 | n/a | 1 | $10.2M |
| 2014 | Mar 20, 2015 | $218M | $218M | 3 | 3 | n/a | 1 | $13.5M |
| 2013 | Mar 26, 2014 | $208M | $208M | 3 | 3 | n/a | 1 | $14.7M |
| 2012 | Feb 28, 2013 | $176M | $176M | 3 | 3 | n/a | 1 | $14.7M |
| 2011 | Mar 26, 2012 | $148M | $148M | n/a | n/a | n/a | 1 | $14.0M |